Andrew G. Riso
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew Gary Riso, who also goes by A Gary Riso, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1984. Andrew had worked at 11 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2010 - January 5, 2017
SECURITIES AMERICA, INC.
February 16, 2005 - August 11, 2010
NEXT FINANCIAL GROUP, INC.
May 16, 2000 - February 17, 2005
CETERA WEALTH SERVICES, LLC
January 17, 1996 - May 16, 2000
SUNAMERICA SECURITIES, INC.
November 24, 1993 - December 31, 1995
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 12, 1993 - December 14, 1993
FORTH FINANCIAL SECURITIES, CORPORATION
April 18, 1986 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
April 18, 1986 - November 12, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 18, 1986 - November 12, 1993
OSAIC FA, INC.
April 13, 1984 - May 24, 1988
METROPOLITAN LIFE INSURANCE COMPANY
April 13, 1984 - June 2, 1988
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
